-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, D5xbVJhT+1WtvmzOv/EJl2fLPulw4PlW5fmn7ndrkRwm2M9LOumikCZd+7nUhZB7 gwg12YmxOaznhSul8j/t1g== 0000891092-02-000734.txt : 20020607 0000891092-02-000734.hdr.sgml : 20020607 20020606144358 ACCESSION NUMBER: 0000891092-02-000734 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020531 FILED AS OF DATE: 20020606 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REGENT COMMUNICATIONS INC CENTRAL INDEX KEY: 0000913015 STANDARD INDUSTRIAL CLASSIFICATION: RADIO BROADCASTING STATIONS [4832] IRS NUMBER: 311492857 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-74704 FILM NUMBER: 02672083 BUSINESS ADDRESS: STREET 1: 100 EAST RIVERCENTER BOULEVARD STREET 2: 9TH FLOOR CITY: COVINGTON STATE: KY ZIP: 41011 BUSINESS PHONE: 6062920030 MAIL ADDRESS: STREET 1: 100 EAST RIVERCENTER BLVD STREET 2: 9TH FLOOR CITY: COVINGTON STATE: KY ZIP: 41011 COMPANY DATA: COMPANY CONFORMED NAME: PATTERSON RICHARD H CENTRAL INDEX KEY: 0001167511 DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: TEN TOWN SQUARE CITY: CHATHAM STATE: NJ ZIP: 07928 BUSINESS PHONE: 9737017711 MAIL ADDRESS: STREET 1: TEN TOWN SQUARE CITY: CHATHAM STATE: NJ ZIP: 07928 4 1 e13519_form4.txt FORM 4 - ------ ---------------------------- FORM 4 OMB APPROVAL - ------ ---------------------------- OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response.......0.5 ---------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |_| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person Patterson Richard H. - ---------------------------------------------- (Last) (First) (Middle) c/o Waller-Sutton Management Group, Inc. One Rockefeller Plaza, Suite 3300 - ---------------------------------------------- (Street) New York New York 10020 - ---------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Regent Communications, Inc. (RGCIP) - -------------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year May 2002 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) _X_ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) _X_ Form Filed by One Reporting Person _____ Form Filed by More than One Reporting Person - -------------------------------------------------------------------------------- Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - --------------------------------------------------------------------------------
5. Amount of Securities 6. Ownership 7. Nature 3. Transaction 4. Securities Acquired Beneficially Form: Direct of Indirect 2. Transaction Code (A) or Disposed of (D) Owned at End (D) or Beneficial 1. Title of Date (Instr. 8) (Instr. 3, 4 and 5) of Month Indirect (I) Ownership Security -------------------------------------------------------------------------------------------------------------------- (Instr. 3) (Month/Day/Year) Code V Amount (A) or (D) Price (Instr. 3 and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). - -------------------------------------------------------------------------------- SEC 1474 (7/96) (Over) - -------------------------------------------------------------------------------- FORM 4 (continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of 2. Conversion 3. Transaction 4. Transaction 5. Number of 6. Date Exercisable 7. Title and Amount of Derivative or Date Code Derivative and Expiration Date Underlying Securities Security Exercise (Month/ (Instr. 8) Securities (Month/Day/Year) (Instr. 3 and 4) (Instr. 3) Price of Day/Year) Acquired (A) Derivative or Disposed of Security (D) (Instr. 3, 4,and 5) ------------------------------------------------------------------------------------- Code V (A) (D) Date Expiration Title Amount or Exer- Date Number of cisable Shares - ------------------------------------------------------------------------------------------------------------------------------------ Option to $7.20 05/16/02 A 5,000 11/16/02 05/16/12 Common 5,000 Purchase Stock Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ - ---------------------------------------------------------------------------------------- 8. Price 9. Number of 10. Ownership 11. Nature of of Derivative Form of Indirect Derivative Securities Derivative Beneficial Security Beneficially Security: Ownership (Instr. 5) Owned at End Direct (D) (Instr. 4) of Month or Indirect (Instr. 4) (I) (Instr. 4) - ---------------------------------------------------------------------------------------- Option to -- 30,000* D* Purchase Common Stock - ---------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------- Explanation of Responses: *Reporting Person disclaims beneficial ownership of all of the securities reported. Reporting Person was initially appointed as a director pursuant to Waller-Sutton Media Partners, L.P.'s ("Waller-Sutton") right to nominate a director to the Issuer. Reporting Person is obligated to hold for the benefit of or cause to be issued directly to, or to be assigned to, Waller-Sutton any securities which he might otherwise be entitled to receive from a portfolio company in which Waller-Sutton invests. The Issuer is a portfolio company in which Waller-Sutton has invested. Accordingly Waller-Sutton is the beneficial owner of the securities reported. - -------------------------------------------------------------------------------- ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). - -------------------------------------------------------------------------------- /s/ Richard H. Patterson June 4, 2002 ------------------------ ------------ Richard H. Patterson Date - -------------------------------------------------------------------------------- Note: File three copies of this Form, on of which must be manually signed. If space is insufficient, see Instruction 6 for procedure - -------------------------------------------------------------------------------- Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number - -------------------------------------------------------------------------------- Page 2 SEC 1474 (7/96) -----END PRIVACY-ENHANCED MESSAGE-----